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PERSONAL HISTORY QUESTIONNAIRE (PHQ) AND SELF-DISCLOSURE
All information provided will be treated as PERSONAL-CONFIDENTIAL and observed only by persons with an authorized NEED-TO-KNOW.
In order to meet the requirements of the Nuclear Regulatory Commission (NRC), the licensee or approved contractor/vendor (approved
C/V) to which you are applying for unescorted access authorization (UAA), unescorted access (UA), fitness-for-duty authorization
(FFDA), construction access (CON) and/or
requires that you consent to undergo a background screening process. The purpose of the screening process is to determine
your trustworthiness and reliability to work within the protected and vital areas of a nuclear power plant (NPP). Information
from this form will be used to conduct a background investigation for access authorization purposes as required by the NRC.
You must provide all information requested in a complete and accurate manner. Your signature on the document is your certification
that the information you have provided is complete and correct. Providing deliberate or willful misleading statements to
any NPP with the intent to gain access is a violation of Federal regulations. Any misrepresentation, deliberate misstatement,
falsification or willful omission may constitute cause for denial or revocation of UAA/UA/FFDA/CON/SGIA.
Failure to report and list reasons for any previous suspension, revocation or denial of UAA/UA/FFDA/CON/SGIA
at a NPP or other entity subject to either the NRC UAA/UA/FFDA/CON/SGIA regulations may be sufficient cause for denial or
revocation of UAA/UA/FFDA/CON/SGIA.
If such an instance is detected Duke Energy is required to advise the NRC. The NRC may investigate you and, if appropriate, criminal and civil sanctions may be imposed
against you if deemed material by the NRC. When such instances have previously occurred, the result has been a lengthy (five-year)
or permanent exclusion from work at nuclear power plants in the United States.
The facts concerning your criminal history or fitness-for-duty record may be subject to interpretation due to varying categorizations
of similar offenses between States. It is therefore required that you disclose all information that has any potential for
being considered as derogatory to minimize the likelihood of discrepancies between the information you provided and that obtained
from other sources. All information requested is needed for the purpose established by NRC regulations or Orders.
In some of the sections of the PHQ you are required to provide your personal information; in other sections you will be required
to acknowledge that you understand certain on-going requirements or personal responsibilities.
The information requested may include any or all of the following topics: verification of identity, self-disclosure data,
employment/unemployment history (including military service and/or education in lieu of employment), criminal history, credit
history, character references, residences, and fitness-for-duty history.
When not in use, your written information is stored in a secure environment, which may include being electronically placed
in a secure database, to prevent unauthorized disclosure of personal information.
The licensee requesting the completion of this document may require your Social Security Number (SSN), the last 4 digits of
your SSN and/or provide you with a protected unique identification number or password linked to you for use on this form.
The NRC requires the verification of true identity and you will be required to disclose your SSN that will be maintained for
the same period as your personal information contained on this PHQ.
PERSONAL HISTORY QUESTIONNAIRE (PHQ) AND SELF-DISCLOSURE
Individuals applying for, certified for, granted or maintaining Unescorted Access Authorization (UAA), or Unescorted Access
(UA), or Fitness-for-Duty Authorization (FFDA), or construction access (CON), or safeguards information access (SGIA) at nuclear
power plants must report legal actions from the time the individual signs the Personal History Questionnaire (PHQ) up to and
including the time that the individual UAA/UA/FFDA is terminated. Legal actions will be judged based upon the potential to
impact upon your trustworthiness. This is part of the Behavioral Observation Program (BOP).
ANY DELIBERATELY FALSIFIED OR OMITTED INFORMATION WILL RESULT IN THE DENIAL OF UNESCORTED ACCESS AND, UNDER 10 CFR 50.5 (DELIBERATE
MISCONDUCT) MAY BE SUBJECT TO NRC ENFORCEMENT ACTION IN ACCORDANCE WITH PROCEDURES IN 10 CFR PART 2, SUBPART B
IF YOU DESIRE A CONFIDENTIAL INTERVIEW UPON PROVIDING INFORMATION REGARDING CRIMINAL HISTORY YOU MUST CONTACT ACCESS AUTHORIZATION
To comply with regulatory requirements, you are required to report ANY legal action (except minor traffic and civil offenses),
to your supervisor/designee and Plant Access Authorization (PAA) as soon as practical, but no later than your first day reporting
to work or arrival upon company property following the legal action and in writing to Plant Access Authorization (PAA) using
the legal action reporting form. Legal Action documentation must be provided no later than your first day reporting to work
or arrival upon company property following the legal action or as directed by the PAA representative. It is expected that
you will report the legal action prior to entering the Protected Area. Failure to report a legal action as required may result
in denial, suspension, revocation, or withdrawal of UAA/UA or FFDA, and disciplinary action up to and including discharge.
A legal action is defined as:
- A formal action taken by a law enforcement authority or court of law, including being held, detained, taken into custody,
charged, arrested, indicted, fined, forfeited bond, cited, or convicted for a violation of any law, regulation or ordinance.
- This includes felony, misdemeanor, serious traffic offenses, serious civil charges or military charges but does not include
minor misdemeanors such as parking tickets or minor civil actions such as zoning violations or minor traffic violations such
as moving violations when the individual was not physically taken into custody.
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It also includes the mandated implementation of a plan for treatment or mitigation in order to avoid a permanent record of
an arrest or convictions in response to the following:
| 1. |
The use, sale or possession of illegal drugs (including controlled substances determined to be illegal under federal law,
such as marijuana, but deemed legal under a state law);
|
| 2. |
The abuse of legal drugs or alcohol; or |
| 3. |
The refusal to take a drug or alcohol test. |
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This does not include minor misdemeanors such as parking tickets, minor civil actions, such as zoning violations, or minor
traffic violations such as moving violations when the individual was not physically taken into custody, provided the legal
action did not include use, sale, or possession of illegal drugs; abuse of legal drugs or alcohol; or refusal to take a drug
or alcohol test.
By my signature below, I certify that I have read this notification and understand my obligation to report legal actions from
the signing of this document until authorization is terminated. I also understand that any falsified or omitted information
will result in the denial of access, and any other consequences imposed by Federal Law (10 CFR 50.5 "Deliberate Misconduct").
personal-data
PERSONAL HISTORY QUESTIONNAIRE (PHQ) AND SELF-DISCLOSURE